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Insider Trading China

Your Daily Dose of Financial News

by Robins Kaplan LLP on

Time Inc. announced yesterday that it’s sold itself as part of a roughly $3 billion all-cash transaction to Meredith Corporation. Meredith, which publishes Family Circle and Better Homes and Gardens, among other glossies, is...more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

Travis is still kicking around at Uber, and he made that quite clear late last week by using his “outsize voting rights” to name two directors to the 8-member board ahead of a vote to reduce Kalanick’s voting power at the...more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

The CFPB issued a no-action letter to Upstart Network this week that will allow the online lender to “continue using alternative credit data to evaluate borrowers in exchange for providing data to the federal consumer finance...more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

Activist investor Nelson Peltz is officially taking on his biggest target yet—consumer-products giant Procter & Gamble. The announcement begins the public stage of a fight we’ve been waiting for since Peltz’s Trian Fund Mgmt...more

U.S. Agencies Step Up Insider Trading Enforcement Against Foreign Nationals, Particularly Chinese Traders

by Perkins Coie on

Investigations and enforcement actions by the U.S. Securities and Exchange Commission (SEC) and U.S. Department of Justice (DOJ) targeting potential illegal insider trading by foreign nationals, particularly by those in...more

Three Chinese Citizens Charged with Hacking New York Law Firms

Preet Bharara, the U.S. Attorney for the Southern District of New York announced that three Chinese citizens have been charged for attempting to hack into seven law firms that were involved in mergers and acquisitions, in...more

Indictment Issued in Law Firm Hacks

In what New York’s top federal prosecutor called a “wake-up call for law firms around the world,” three Chinese citizens have been charged with hacking into the servers of two prominent – but unidentified – international law...more

2016 Proskauer Annual Review and Outlook for Hedge Funds, Private Equity Funds and Other Private Funds

by Proskauer Rose LLP on

This special report provides a summary of some of the significant changes and developments that occurred in the past year in the private equity and hedge funds space, as well as certain recommended practices that investment...more

This Week In Securities Litigation

by Dorsey & Whitney LLP on

The SEC filed a settled FCPA action in which the employees in the China subsidiary of the firm designed and adopted a bribery scheme to circumvent the compliance procedures the company had installed as a result of an earlier...more

This Week In Securities Litigation

by Dorsey & Whitney LLP on

In the week leading up to the July 4th holiday weekend the SEC filed an action alleging insider trading centered on the acquisition of a firm by Apple based largely on circumstantial evidence and outsized trading. Another...more

Your daily dose of financial news - The Brief – 6.16.16

by Robins Kaplan LLP on

As expected, the Fed announced yesterday that it was holding current interest rates steady and would be slow to push rates up while the economy tiptoes toward stability. Much more from Chair Yellen and economists’ reaction...more

This Week In Securities Litigation

by Dorsey & Whitney LLP on

The elements of an insider trading claim continued to be a key focus this week. The first circuit, following prior circuit precedent, held that a personal benefit based on a long term friendship and a steak dinner was...more

Your daily dose of financial news The Brief – 3.1.16

by Robins Kaplan LLP on

Apple’s gained some welcome federal precedent in its battle to resist unlocking its phones for the federal government, thanks to an EDNY drug case in which federal magistrate judge James Orenstein denied the government’s...more

Your daily dose of financial news The Brief – 1.20.16

by Robins Kaplan LLP on

Oil spilled all over global markets again today, halting another short-lived stretch of stability – WSJ... Just months after refusing to take up the contentious Newman appeal that regulators and traders alike hoped would...more

Your daily dose of financial news The Brief – 1.11.16

by Robins Kaplan LLP on

Ready for another rollercoaster ride? Asian markets suggest it could be a long Monday on Wall Street – WSJ... The latest from the ongoing battle between the SEC and billionaire investor Steven A Cohen appears to be a...more

Financial Services Quarterly Report Third Quarter 2015: China’s Policy Response to Market Turbulence: What It Means for Fund...

by Dechert LLP on

News of the volatile Chinese stock market has dominated international headlines over the past couple of months, and the spotlight has been on the Chinese authorities’ reaction to these developments. Their wide-reaching policy...more

SEC Files Another Suspicious Trading Case

by Dorsey & Whitney LLP on

Outsized trades continue to draw SEC scrutiny and enforcement actions – even where the agency does not have the evidence to fully plead a claim. Despite the difficulties of these so-called “suspicious” trading cases, in many...more

Focus on China Compliance - June 2015

by McDermott Will & Emery on

In This Issue: - Increased Scrutiny by Chinese Securities Regulators Will Have Global Implications - Effective Employee Suspension Agreements to Facilitate Compliance Investigations - Protecting Against...more

Hong Kong Regulatory Update - June 2015

This Hong Kong regulatory update is intended to provide a brief overview of the principal Hong Kong regulatory developments in the preceding three months relevant to companies listed or proposed to be listed on The Stock...more

This Week In Securities Litigation

by Dorsey & Whitney LLP on

The Commission brought two FCPA cases this week, one of which was in conjunction with the DOJ. Both centered on the payments for gifts and travel in China. In addition, the SEC filed three manipulation cases, an action...more

SEC Files Insider Trading Action Despite Unknown Tipper

On February 6, the Securities and Exchange Commission filed insider trading charges against Hao He a/k/a Jimmy He in federal district court in Atlanta, Georgia. The SEC alleged that He obtained material, nonpublic information...more

SEC Enforcement Year in Review - 2013

by Shearman & Sterling LLP on

Marked by leadership changes, high-profile trials, and shifting priorities, 2013 was a turning point for the Enforcement Division of the Securities and Exchange Commission (the “SEC” or the “Commission”). While the results of...more

How To Trap a Tiger – Regulators’ Nets Tighten Around Tiger Asia on Both Sides of the Pacific

by Dorsey & Whitney LLP on

Government securities enforcement agencies in Hong Kong and the United States have been pursuing Tiger Asia Management and its affiliates for four years with claims of insider trading and market manipulation on the Hong Kong...more

SEC Sues Badin for Insider Trading in Smithfield Foods Acquisition

by Brooks Pierce on

The May 29th announcement that China-based Shuanghui International Holdings had agreed to acquire Virginia-based Smithfield Foods came with a lot of news value. First, the $4.7 billion price tag for Smithfield is large by any...more

Tiger Asia Case – Hong Kong Regulators Take Insider Dealing Enforcement to New York Fund

by Dechert LLP on

The Securities and Futures Commission (the SFC), Hong Kong’s principal securities regulator, won a significant victory this past April in a long-running, high-profile case against New York hedge fund Tiger Asia Management LLC...more

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